SEC: Goldman Sachs Traded Based on Non-Public Information
- Determined that the form willfully violated the provisions of the Exchange Act that prohibit fraud by broker-dealers and government securities dealers.
- http://www.sec.gov/news/press/2003-107.htm

SEC: Goldman Sachs Research Analyst Conflicts of Interest
- Alleged that the research team was aligned with and pitched the firm's investment banking activities.
- http://www.sec.gov/litigation/litreleases/lr18113.htm